49 CFR 173.

41 – Applications

COQA Meeting, San Antonio, TX

Kesavalu M. Bagawandoss Ph.D., J.D.

March 2016

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 Disclaimer
The information contained in this presentation is intended solely for
broad informational purposes. Intertek makes no representation
regarding, and assumes no responsibility or liability for, the
accuracy or completeness of, or any errors or omissions in, any
information contained herein.
In addition, the views expressed are based on an overview of
current practices which are subject to change over time and
geographic location. It is not the intention to provide, and you may
not rely on this presentation as providing, a complete or
comprehensive analysis of the situations encountered in actual
field conditions, for which you should refer to applicable
methodologies, rules and regulations. This presentation does not
constitute an offer or invitation to purchase or subscribe to our
services.
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 Outline of Presentation

• Introduction
• Modes of transport under § 173.41
• 49 CFR 173.41
• Federal Register – Citation
• PHMSA Presentation
• Interpretation by PHMSA
• Summary

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 Introduction

• Classification of Crude Oil offered in

Transportation (Class 3 Flammable Liquids)
• Flash Point ASTM D56 etc.…
• Initial Boiling Point ASTM D86
• DOT Final Rule
• Codified in 49 CFR 173.41
• Sampling and testing program for unrefined
petroleum-based products

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Modes of Transport under § 173.41

• Federal Register publication of new rules

• Coded CFR provisions
• Plain reading of § 173.41
• Presentation by PHMSA
• Interpretation by PHMSA as to what
constitutes refinement
• Heater- Treater removal of gases is not
considered refinement

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 49 CFR 173.41
Ҥ173.41 Sampling and testing program for unrefined
petroleum-based products.
(a) General. Unrefined petroleum-based products offered for
transportation must be properly classed and described as
prescribed in §173.22, in accordance with a sampling and testing
program, which specifies at a minimum:
(1) A frequency of sampling and testing that accounts for any appreciable
variability of the material (e.g., history, temperature, method of extraction
[including chemical use], location of extraction, time of year, length of time
between shipments);
(2) Sampling prior to the initial offering of the material for transportation
and when changes that may affect the properties of the material occur (i.e.,
mixing of the material from multiple sources, or further processing and then
subsequent transportation);
(3) Sampling methods that ensure a representative sample of the entire
mixture, as offered, is collected;

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 49 CFR 173.41
(4) Testing methods that enable classification of the material under the HMR;
(5) Quality control measures for sample frequencies;
(6) Duplicate sampling methods or equivalent measures for quality
assurance;
(7) Criteria for modifying the sampling and testing program; and
(8) Testing or other appropriate methods used to identify properties of the
mixture relevant to packaging requirements (e.g., compatibility with packaging,
identifying specific gravity for filling packages).
(b) Certification. Each person who offers a hazardous material for
transportation shall certify, as prescribed by §172.204 of this subchapter, that
the material is offered for transportation in accordance with this subchapter,
including the requirements prescribed by paragraph (a) of this section.

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 49 CFR 173.41
(c) Documentation, retention, review, and dissemination of program. The
sampling and testing program must be documented in writing (i.e. hardcopy
or electronic file thereof) and must be retained for as long as the sampling
and testing program remains in effect, or a minimum of one year. The
sampling and testing program must be reviewed at least annually and revised
and/or updated as necessary to reflect changed circumstances. The most
recent version of the sampling and testing program must be available to the
employees who are responsible for implementing it. When the sampling and
testing program is updated or revised, all employees responsible for
implementing it must be notified, and the most recent version must be made
available.
(d) Access by DOT to program documentation. Each person required to develop
and implement a sampling and testing program must maintain a copy of the
sampling and testing program documentation (or an electronic file thereof) that is
accessible at, or through, its principal place of business, and must make
the documentation available upon request at a reasonable time and location
to an authorized official of the Department of Transportation.
[80 FR 26746, May 8, 2015]”

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 Federal Register - Citation
“More Accurate Classification of Unrefined Petroleum-Based Products .................Offerors/Shippers of unrefined petroleum- based products.

Develop and carry out sampling and testing program for all unrefined petroleum-based products, such as crude oil, to address:

(1) Frequency of sampling and testing that accounts for any appreciable variability of the material.

(2) Sampling prior to the initial offering of the material for transportation and when changes

that may affect the properties of the material occur;

(3) Sampling methods that ensures a representative sample of the entire mixture, as offered,

is collected;

(4) Testing methods that enable classification of the material under the HMR;

(5) Quality control measures for sample frequencies;

(6) Duplicate samples or equivalent measures for quality assurance;

(7) Criteria for modifying the sampling and testing program;

(8) Testing or other appropriate methods used to identify properties of the mixture relevant to

packaging requirements.

• Certify that program is in place, document the testing and sampling program outcomes, and

make information available to DOT personnel upon request”

Reference: 26646 Federal Register / Vol. 80, No. 89 / Friday, May 8, 2015 / Rules and Regulations

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 PHMSA Presentation (Kip Wills)

Reference: Crude by Rail Safety, NAVIGATING NEW RULES & BYPASSING MISPERCEPTIONS, FEBRUARY 1,
2016,1:30-4:30 PM PRAIRIE ROSE ROOMS - BISMARCK CIVIC CENTER 315 SOUTH 5TH STREET,
BISMARCK, ND.

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 Interpretation by PHMSA

“For the purposes of the HMR, the term, "unrefined petroleum-based

products" would be any material that is petroleum based, and has not
undergone refinement. Condensates refer to a wide range of products, and
may include products from the treatment of crude oil for transportation or a
product of refinement. In order to determine whether condensate meets the
definition of an unrefined petroleum-based product, information about the
specific processing and treatment of material prior to transportation is
necessary. Heat treating to reduce vapor pressure or to remove the dissolved
gasses in crude oil so that it may be transported for refinement would not
meet the American Fuel & Petrochemical Manufacturers (AFPM) or other
industry definitions of refining. However, AFPM includes the heating and
separation of hot gasses through a distillation column as a refinement
process.”
Reference: PHMSA Interpretation #15-0147 – letter to Argus

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 Summary

• 49 CFR 173.41 applies to all modes of transport of unrefined

petroleum-based products
• Sampling and Analysis plans must be established as outlined in
49 CFR 173.41
• Classification parameters – IBP & FP

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 References

1. Classifying and Loading of Crude Oil into Rail Tank Cars, ANSI/API Recommended
Practice 3000, First Edition, September 2014.
2. 26706 Federal Register / Vol. 80, No. 89 / Friday, May 8, 2015 / Rules and Regulations.
3. http://www.phmsa.dot.gov/portal/site/PHMSA/menuitem.6f23687cf7b00b0f22e4c6962d9
c8789/?vgnextoid=bba9667abc340510VgnVCM100000d2c97898RCRD&vgnextchannel
=aa8cd3c1af814110VgnVCM1000009ed07898RCRD&vgnextfmt=print
4. https://www.gpo.gov/fdsys/pkg/FR-2015-05-08/pdf/2015-10670.pdf
5. http://www.ecfr.gov/cgi-bin/text-
idx?SID=a9a6d66aef54e0dac28bcca51dfda688&mc=true&node=pt49.2.173&rgn=div5#s
e49.2.173_141
6. Crude Oil testing requirements, Kip Wills, PHMSA, ibid reference 7, 10/15/2015.
7. Crude by Rail Safety, NAVIGATING NEW RULES & BYPASSING MISPERCEPTIONS, FEBRUARY 1,
2016,1:30-4:30 PM PRAIRIE ROSE ROOMS - BISMARCK CIVIC CENTER 315 SOUTH 5TH STREET, BISMARCK, ND.

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 Contact Information

Kesavalu M. Bagawandoss Ph.D., J.D.

dr.doss@Intertek.com

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